| 22-02477 | 06/02/2023 | Claimant(s): David Morgan
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Annamaria Boccia Smith, Maria Barry, John Lawniczak
Hearing Site: New York, NY
| | |
| 20-03904 | 05/30/2023 | Claimant(s): Mona Petrocine
Claimant Lawyers(s): Martin Asatrian
Respondent(s): David Turetzky, Ameriprise Financial Services., Marlene Yacenda
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Paul J. Camilleri, Annamaria Boccia Smith, William A. Rome
Hearing Site: New York, NY
|  | $0 |
| 19-01392 | 12/12/2022 | Claimant(s): Jeffrey Cohen
Claimant Lawyers(s): David A. Schrader
Respondent(s): Wells Fargo Advisors Financial Network, Philip Pappas, Steven Dichter
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Annamaria Boccia Smith, John Herbert Grefe, John Warner Lowe
Hearing Site: New York, NY
| | $0 |
| 22-00828 | 12/07/2022 | Claimant(s): Richard Whalen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Carrington Investment Services
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 22-02135 | 12/05/2022 | Claimant(s): Harrison Hoyes
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | |
| 22-01044 | 10/13/2022 | Claimant(s): Maxine Kovalkoski, Paul Kovalkoski
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | Expungement |
| 22-00585 | 09/26/2022 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | |
| 21-02840 | 07/01/2022 | Claimant(s): Stephen Barry
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Annamaria Boccia Smith, David Stein, Peter Whittingham
Hearing Site: New York, NY
| | |
| 17-03265 | 06/03/2022 | Claimant(s): Dwight Rose, Nancy Rose
Claimant Lawyers(s): Albert R. Murray
Respondent(s): Kevin Houser, Houser & Plessl Wealth Management Group,
Respondent Lawyers(s): Michael S. Taafee
Arbitrator(s): Annamaria Boccia Smith, Sirena Terr, Charlane Brown
Hearing Site: New York, NY
| | Expungement |
| 21-02134 | 04/14/2022 | Claimant(s): Timothy Lyons
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): JPMSI
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
